#469

SECURITIES OFFERINGS - A FEDERAL LAWS AND PROCESS OVERVIEW


--- 1.0 CLE Credit for AZ,CA,CT,NY,WA
--- business and corporation - securities
--- course production date: 1/15/2015
--- presented by PAUL RICHTER

PAUL RICHTER
This CLE course provides a basic overview of the federal and state securities law compliance for public and private offerings of securities by companies.

Paul W. Richter focuses on liability traps for practitioners and essential compliance processes as well as providing a basic understanding of the overall regulatory scheme at the federal and state levels.

Key course points are:
• Basic Concepts in Securities Offerings.
• Identify who the Regulators are.
• Highlights the Securities Offering Process.
• Reviews the SEC Classification of Issuers.


--- presented by PAUL RICHTER

Since 1988, Paul W. Richter has represented small public and private companies in the following areas: SEC-securities compliance and public and private securities offerings, mergers and acquisitions, anti-takeover counseling and asset protection counseling, employment-compensation issues, intellectual property rights protection, the full spectrum of business and commercial contract structuring, drafting and review and business immigration issues.

Mr. Richter has an L.LM. in Securities Regulation from Georgetown University Law Center and a J.D. from George Mason University Law School. He updates the national treatise Securities Public and Private Offerings by Professor William Prifti (deceased) for West Publishing.

Mr. Richter was the originator and initial author of Corporate Anti-Takeover Defenses: The Poison Pill (published since 1989 by West Publishing). He has served as an executive and director of a NASDAQ-quoted company. He serves or has served as outside securities counsel to companies quoted on the NASDAQ, OTC Bulletin Board, The Pink Sheets and Over the Counter Gray Market.

Mr. Richter successfully defended a company against delisting by NASDAQ. He has successfully guided a stalled listing application for NASDAQ to approval. He has drafted registration statements for public offerings of securities under the Securities Act of 1933, periodic SEC reports under the Securities Exchange Act of 1934, private placement offering documents and all related federal securities and Blue Sky documents and filings.